本文選題：貴族政治 + 帝制體系　； 參考：《東北師范大學》2016年博士論文

【摘要】：學界對于明代藩王、宗藩制度、宗祿人口、王府莊田等問題的研究主要集中于上世紀八九十年代。因時代環(huán)境,當時研究普遍存在著以論帶史、論證疏闊的問題,許多歷史事實并未澄清。新世紀以來,相關(guān)研究亦有諸多進展,但皆為從個別側(cè)面入手的單篇論文。其中,從區(qū)域化視角對明代宗藩進行研究的十幾篇碩士論文在研究的問題意識方面體現(xiàn)出新意,但其展開的內(nèi)容,主要是將上世紀研究成果,放入某一區(qū)域范圍進行再觀察,無論史實梳理和澄清,還是問題分析與解讀都未達到深入程度�；谏鲜鲅芯楷F(xiàn)狀,本論文在前人研究基礎(chǔ)之上,從政治、法律、經(jīng)濟、心態(tài)諸方面入手,對明代關(guān)于宗藩上層即藩王的制度安排、藩王的政治地位與角色、藩王的生存狀態(tài)與心理狀態(tài),進行系統(tǒng)性的梳理、考核與分析,在比較全面呈現(xiàn)相關(guān)史事基礎(chǔ)上,集中于藩王這一特殊人群,對明代國家體制中的貴族階層與貴族政治狀況做盡量深入的透視。朱元璋建國后,出于防御舊元、轉(zhuǎn)移軍權(quán)的現(xiàn)實考慮,及配合廢除宰相制度、防范權(quán)奸的需要,建立分封制,大封諸王。因此,洪武時期,諸王不僅擁有極大的軍事權(quán)力,也擁有節(jié)制布政司的權(quán)力。建文帝登基以后,嘗試削弱諸藩權(quán)力,引發(fā)靖難之役。燕王朱棣登上皇位后,繼續(xù)推行肇始于建文帝的削藩政策,通過遷封、削減王府護衛(wèi)、解除諸王軍事指揮權(quán)等方式,削奪諸王軍事權(quán)力。但成祖削藩并不徹底,直到宣德一朝,削藩方才徹底完成。經(jīng)過朝廷的削藩和日加嚴苛的藩禁政策,藩王雖然衣租食祿,享受優(yōu)厚物質(zhì)待遇,但在權(quán)力體系中地位微弱,不僅完全淡出朝堂,而且不許議論朝政,不得與官員聯(lián)姻及結(jié)交,甚至個人的行動自由也受到極大的限制。萬歷中期,朝廷放開了宗室入仕之禁,但僅對將軍和中尉而言,藩王仍在防嫌之列,這一狀態(tài)直至明亡沒有改變。明代藩王與王官的權(quán)力關(guān)系,也可以反映出藩王的實際處境。根據(jù)《皇明祖訓》,親王對王府文官無人事任免權(quán),但有合于律法之司法權(quán);對王府武官,親王有司法權(quán)和一定范圍的人事權(quán)�？墒聦嵣�,靖難以后,親王對文官既無人事權(quán),亦無司法權(quán);對武官可在符合世襲的條件下上疏奏請;王府內(nèi)官多由朝廷直接派遣或任命,親王可以提名保薦,但仍需獲得朝廷批準方可。對于武官和內(nèi)官,親王僅有在朝廷授命的情形下方才可以行使司法權(quán)。不僅如此,在永樂一朝,由于朱棣的鼓動,告發(fā)藩王的現(xiàn)象盛行,王官的職責驟然發(fā)生轉(zhuǎn)變,由過去的輔導(dǎo)之臣,變?yōu)榉醯谋O(jiān)視者,擔負起監(jiān)察王府的作用,因此時常凌駕于諸王之上。明代藩王在靖難之役后雖然直接政治權(quán)力大幅度削弱,但是此一人群在明代國家政治中仍然扮演一些重要角色,明代藩王及分封制度在帝制政治中具有結(jié)構(gòu)上的重要意義。宣德末和正統(tǒng)初,親王經(jīng)常代天子祭祀宗廟、天地及皇陵;當皇帝出征時,親王居守京師;諸王還身負勸進及勸立儲君的政治任務(wù),勸進和勸立儲君看似是一項禮儀性和象征性事宜,卻是皇位合法性的重要構(gòu)成部分。在地方,藩王并非絕對不問時事,他們可以就地方修筑事務(wù)進行奏報,也偶爾會對封地內(nèi)三司事務(wù)奏告朝廷,這表明朝廷依然為藩王保留了一些參與空間。藩王對于宗室事務(wù)的討論最多,他們不僅主動參與,朝廷也呼吁他們進言,他們的許多建議都得到了朝廷的采納。在軍事上,削藩之后,明代藩王有奏報地方軍情的權(quán)力。從明代中后期開始,由于朝廷財政陷入困境,各項開支難以籌措,藩王捐祿捐銀的現(xiàn)象十分常見,包括:賑災(zāi)、助餉、辭祿補給宗糧和獻助等。在皇權(quán)中斷時,藩王的政治地位及分封制度在帝制中的結(jié)構(gòu)性意義得到凸顯:皇帝薨后無嗣,與皇帝親疏關(guān)系最近的藩王便繼承大統(tǒng);崇禎十七年,崇禎帝自盡后,在崇禎帝諸子下落不明的情況下,明代藩王便成為國家正統(tǒng)性的代表,成為一面爭取明朝復(fù)興及團結(jié)各種抗清勢力的旗幟;南明諸政權(quán),在北京中央政權(quán)瓦解后又持續(xù)明代正朔四十年;南明諸王在皇權(quán)中斷之時再續(xù)朱姓皇權(quán),部分實現(xiàn)了明初朱元璋分封諸王的用意。叛亂是藩王參與政治的一種非常規(guī)方式,是藩王對既有秩序進行的反抗。朱元璋在《皇明祖訓》中,規(guī)定了諸王的法律特權(quán)。從明中后期開始,《祖訓》規(guī)定的情形發(fā)生了變化:第一,朝廷對宗室所作的法律限制已經(jīng)突破家法《皇明祖訓》的范圍,部分內(nèi)容開始出現(xiàn)于國法之中;嘉靖末年頒布的《宗藩條例》對宗室生活的各方面都進行了限制和約束。第二,地方官員及三法司官員在藩王整個司法過程中的參與范圍漸寬,干預(yù)程度也在增強,增加了對王府的監(jiān)察職責,可以參與對宗室的議罪等。但若仔細辨析,可以發(fā)現(xiàn),明中后期出臺的法律條文,包括《宗藩條例》在內(nèi),絕大多數(shù)條款是針對下層宗室,藩王尤其是親王的法律特權(quán)所受的波及是細枝末節(jié)及無關(guān)緊要的。官員參與程度加深,也僅是增加了監(jiān)察權(quán)力,對于犯罪藩王,特別是親王,司法過程中的緝拿權(quán)、審問權(quán)和判決權(quán)仍專屬皇帝一人。這表明宗室內(nèi)部成員,因爵位高低不同,在法律待遇上產(chǎn)生了分野。藩王法律特權(quán),終明一代,根本上并無實質(zhì)性變化。洪武時期,藩王政治權(quán)力極大,歲祿與賜田是朝廷對諸王進行供養(yǎng)的一種方式。靖難之后,藩王幾乎不具備任何實際政治權(quán)力,形成鮮明對比的是,朝廷大量賜予諸王歲祿和莊田。這一現(xiàn)象背后的政治意義是:朝廷對藩王付出的政治代價——不參政,給予經(jīng)濟性補償。因此,可以看到,從明初到明末,親王獲賜田地的數(shù)目,大致呈上升趨勢。嘉靖末年的宗祿改革,從改革對象上來說,仍然主要是針對下層宗室,郡王兼有涉及,親王的切實利益則很少觸及。這也體現(xiàn)出宗室成員在經(jīng)濟待遇上的分野。所以,宗祿背后的政治蘊意不能同一而論。于國家而言,以宗祿供養(yǎng)皇室后裔,是“親親之誼”,隨著明中后期宗室人口大量繁衍,而逐漸上升為中央財政問題。于親王而言,宗祿和莊田是他們以犧牲政治權(quán)力為代價,而獲得的經(jīng)濟補償。于下層宗室而言,宗祿口糧是他們的基本生存保障,當宗祿長久拖欠,無法支取時,就意味著朝廷的遺棄。郡王則處于親王與下層宗室之間,作為中間階層,其生存狀況雖比不上親王,但比下層宗室又好很多。朝廷對宗室的供養(yǎng)制度,使之付出了沉重的代價,大筆的宗祿支出加劇了明朝的財政困境。明代藩王因朝廷頒布的藩禁政策,不能出仕。但他們當中的一些人仍有著較強的政治關(guān)懷和參與政治的訴求。這些訴求和意愿在明代是不被認可和允許的,因此只能寄托于詩歌之中。在詩作中,他們關(guān)心時政、邊事和下層民眾,表現(xiàn)出了強烈的政治意識。與此同時,這些藩王信奉佛教和道教,具有強烈的出世情懷。這種出世情懷,于他們而言,是政治抱負無法施展的一條精神出路,亦是明代宗室所處嚴苛政治生態(tài)中的無奈選擇。經(jīng)過對明代藩王相關(guān)史料的系統(tǒng)梳理,本文在澄清諸多事實基礎(chǔ)上,對明代貴族政治進行透視,提出:從政治制度設(shè)置與運作維度講,明代藩王在建文、永樂、洪熙、宣德時期政策調(diào)整之后,已經(jīng)失去實際軍政權(quán)力,中國貴族政治在此時達到空前衰弱狀態(tài),反襯皇帝權(quán)力的高度集中化,并伴隨士大夫政治影響力一定程度的增強。但當皇權(quán)中斷時,藩王的政治意義便得到凸顯,這表明從帝制的內(nèi)部結(jié)構(gòu)來看,貴族體制雖然孱弱,但具有結(jié)構(gòu)性意義。從權(quán)利劃分維度講,貴族政治中的“等級”區(qū)分與少數(shù)人“特權(quán)”性質(zhì)在法律和經(jīng)濟領(lǐng)域長期保留,明代親王直至明亡,始終處于高等級地位,享受一般臣民無法企及的法律特權(quán)和經(jīng)濟特權(quán)。藩王的這種高等級與特權(quán)地位表示,相當程度的貴族制精神是明代帝制體系的內(nèi)在組成部分,是中國帝制傳統(tǒng)難以祛除的特征之一;與此同時,貴族經(jīng)濟特權(quán),需要大筆宗祿支出,這無疑給明朝財政的困境雪上加霜。從廣義的國家制度體系角度而言,明代貴族仍然是一個政治性的課題。明代貴族政治的上述兩個特色,對于透視明清帝制體系的特征具有重要意義。秦漢時期形成的帝制,是以皇帝為頂端,以郡縣體制、官僚體制、貴族體制三個系統(tǒng)為支撐的政治制度。到了明代,這一制度既發(fā)生了新的變化,又保留了不變的傳統(tǒng)。所謂“變”是指:第一,明代貴族政治的衰弱,相較于秦到唐貴族政治的強勢,表明原先帝制中一些僵化的部分已經(jīng)松動;第二,明代士大夫政治相對活躍,士大夫主流受儒家學說影響,雖承認皇室血緣特殊地位,但更強調(diào)道統(tǒng)和“天下”關(guān)懷,這使得明代帝制體系運行中增加了一些具有理性含義的精神。這二者是為帝制之“變”。所謂“不變”是指:第一,作為階層的貴族,包括宗室、世襲功臣和外戚仍然存在,并不存在徹底消亡的可能;與此同時,作為帝制架構(gòu)的重要組成部分,貴族體制具有不可或缺的結(jié)構(gòu)性意義;第二,貴族政治蘊含的“等級”與“特權(quán)”的性質(zhì),在法律和經(jīng)濟領(lǐng)域仍舊發(fā)揮著深遠的影響;這二者是為帝制之“不變”�！白儭迸c“不變”及其之間的張力共同構(gòu)成了明代政治制度的特色。明代政治制度在缺乏更有力的社會變動推動情況下,并不能達到政治理性精神的充分伸張,還是會陷入左右糾結(jié)的困境。從藩王角度審視明代貴族政治與帝制體系,可以看到,盡管明代中國的經(jīng)濟領(lǐng)域、社會領(lǐng)域和思想文化領(lǐng)域皆發(fā)生的深刻的變化,但政治領(lǐng)域的根本性變化尚未明晰,帝制架構(gòu)的繼續(xù)延續(xù)仍有深厚的政治基礎(chǔ)。
[Abstract]:In the Ming Dynasty, the study of the Ming Dynasty vassal king, the suzerain vassal system, the Zong Lu population and the Wangfu manor field were mainly concentrated in the 80s and 90s of the last century. Because of the environment of the times, the study generally existed with the theory of history and the fact that many historical facts have not been clarified. Among them, more than a dozen Master Dissertations of the Ming Dynasty vassal vassal studies from the perspective of regionalization have shown a new sense of the problem consciousness, but the main contents are to put the research results of the last century into a certain area to be observed again, regardless of historical facts and clarification, or the analysis and interpretation of the problems. On the basis of the previous research, this paper, on the basis of previous studies, starts with the political, legal, economic and psychological aspects of the Ming Dynasty on the institutional arrangement of the upper class vassal vassal vassal king, the political status and role of the vassal king, the state of the vassal king and the psychological state of the vassal. On the basis of the relevant historical facts, the special crowd was concentrated on the vafa king, and the political status of the aristocracy and aristocracy in the state system of the Ming Dynasty was as deep as possible. After the founding of the people's Republic of China, Zhu Yuanzhang, out of the actual consideration of the defense of the old yuan, the transfer of military power, and the abolition of the regime of slaughtering and the need to guard against the power of power, established a system of feudalism and great seal. Therefore, in the period of the Hongwu Period, the kings not only had great military power, but also had the power of moderating the political secretary. After the founding of the emperor, the emperor tried to weaken the power of the various vassal vassal forces and caused the service of the peace. After Yongle, the emperor of the emperor went on to the throne, and continued to carry out the policy of chipping the vassal vassal of the emperor of Jian Wen, and cut the Royal Guard and relieved the military commanders of the kings through the relocation of the emperor. It was not thorough to chipping the military power of the kings, but it was not thorough to chipping the vassal vassal to the emperor until the first dynasty of the emperor. In the middle period of the Wanli, the Imperial Court opened the forbidden of the imperial clan, but only for the general and the lieutenant, the king was still in the defence of the suspicion that the state had not changed until the Ming Dynasty. The power relationship between the king and the royal officials in the Ming Dynasty could also reflect the actual situation of the king. According to the royal family training, the prince had no right to appoint and dismiss the royal official, but had the judicial power of the law; to the Royal Military Officer, the prince had judicial power and a certain range of personnel rights. In fact, after the peace, the prince had neither the personnel rights nor the judicial power. As the royal court dispatched or appointed, the prince could nominate the sponsor, but it still had to be approved by the court. For the military officers and the internal officials, the prince could exercise judicial power only under the circumstances of the court. In the Ming Dynasty, the ruler of the Ming Dynasty still played some important horns in the state politics of the Ming Dynasty, and the emperor of the Ming Dynasty and the system of feudalism were in the monarchy politics. At the end of Xuan de and orthodoxy, the prince often sacrificed the temple, the heaven and the earth and the imperial mausoleum on behalf of the emperor. When the emperor was expedition, the prince lived in the master of Beijing, and the kings repersuaded and persuaded the political task of storing the king, and persuaded and urged the emperor to be an important part of the legality of the throne, which seemed to be a ceremonial and symbolic matter. In place, the king of the vvan is not absolutely not asking the current affairs, they can make a memorial to the local construction affairs, and occasionally accuse the court of the three divisions within the seal, which shows that the court still holds some space for the king of the vvan. After the middle and late Ming Dynasty, since the Ming Dynasty was in trouble, all the expenses were difficult to raise, and the vassal King donated the money to the bank. It included disaster relief, pay, recharge of grain and contribution, and so on. When the imperial power was interrupted, The structural significance of the political status of the king and the system of the feudalism in the monarchy showed that the emperor had no heirs after the emperor, and the king of the closest relations with the emperor inherited the great unification of the emperor. After the seventeen years of Chong Zhen, the emperor of Chong Zhen became the representative of the national orthodoxy in the Ming Dynasty and became a Ming Dynasty under the circumstances of the emperor's whereabouts of the emperor. The rejuvenation and unity of the banner of all kinds of anti Qing forces; the political power of Nanming, after the disintegration of the central government of Beijing, after the collapse of the central regime of the Nanming, and the continuation of the emperor's imperial power in the Ming Dynasty; the kings of Nanming continued to renew Zhu's imperial power at the time of the interruption of the imperial power, partly realizing the intention of the kings of Zhu Yuanzhang in the early Ming Dynasty. In the imperial training of emperor Zhu Yuanzhang, in the imperial training of Emperor Ming Dynasty, the legal privileges of the kings were stipulated. From the beginning of the middle and late Ming Dynasty, the regulations stipulated in the ancestor's training had changed. First, the legal restrictions made by the imperial court had already broken through the scope of the family law, the Emperor Ming ancestor training, and some of the contents began to appear in the national law; the last year of Jiajing's "suzerain vassal article" Second, the participation of the local officials and the officials of the three law department in the whole judicial process of the king of the clan is widening, the degree of intervention is increasing, the supervisory duty of the Wang Fu is increased, and the crime of argumentation of the clan can be involved. But if it is carefully discriminated, it can be found that the law promulgated in the late Ming and the middle and late Ming Dynasty The laws of the law, including the vassal vassal Ordinance, most of which are aimed at the lower level of the clan, and the legal privileges of the king of the vassal, especially the prince, are minor and insignificant. The degree of participation of the officials is deepened and only the power of supervision is added to the criminal vassal, especially the prince, the right to arrest, interrogate and adjudicate in the judicial process. The power still belongs to the emperor. This shows that the members of the clan have a distinction in the legal treatment because of the difference of the rank of the title. The legal privileges of the king of the fan and the last Ming Dynasty have no substantial changes. With any practical political power, a sharp contrast is that the court has bestowed a large number of kings and manor. The political significance behind this phenomenon is: the political cost of the court to the king of the court - non political participation and economic compensation. Therefore, it can be seen that from the early Ming to the end of the Ming Dynasty, the number of land granted by the prince was generally on the rise. From the object of reform, the reform of Zong in the last year was still mainly aimed at the lower clan. The real interests of the prince were rarely touched. It also reflected the separation of the members of the clan in the economic treatment. Therefore, the political implication behind Zong Lu was not the same. In the state, the support of the Royal descendants with Zong, was " The friendship between parents and relatives ", with the large population multiplication in the middle and late Ming Dynasty, has gradually risen to the central financial problem. In the case of the prince, Zong and Zhuang are their economic compensation at the expense of the sacrifice of political power. In the lower clan, Zong's grain is their basic guarantee of survival. When Zong has long been in arrears, it can not be withdrawn. It meant the abandonment of the court. The prince was between the prince and the lower clans. As a middle class, although his living condition was better than the prince, it was much better than the lower clan. The system of support for the imperial clan made it pay a heavy price, and a large amount of Sect expenditure aggravated the financial predicament of the Ming Dynasty. The vassal king of the Ming Dynasty enacted the vassal of the court. Some of them still have strong political and political appeals. These demands and wishes are not recognized and allowed in the Ming Dynasty, so they can only be placed in poetry. In the poetry, they show a strong political consciousness. At the same time, they show strong political consciousness. These feudal lords believed in Buddhism and Taoism with strong feelings of birth, which, in their case, were a spiritual outlet for political aspirations, and a helpless choice in the harsh political ecology of the Ming Dynasty. On behalf of the aristocratic politics, it was pointed out that: from the political system setting and operation dimension, the emperor of the Ming Dynasty had lost the actual military and political power after the policy adjustment of the period of Jian Wen, Yongle, Hong hee and Xuan de. The Chinese aristocratic politics had reached an unprecedented decline in this time, in contrast to the high centralization of the power of the emperor, and accompanied by the political influence of the scholar officials. But when the imperial power is interrupted, the political significance of the king is highlighted, which shows that the aristocratic system is weak but structural in terms of the internal structure of the monarchy. From the dimension of the right division, the distinction of "rank" in the aristocratic politics and the nature of the "privileges" of the minority are kept in the legal and economic fields for a long time. The prince was in a high rank and enjoyed the legal privileges and economic privileges that the general subjects could not reach. The high rank and privileged status of the king of the governor expressed that a considerable aristocratic spirit was an intrinsic part of the imperial system of the Ming Dynasty, and one of the characteristics of the Chinese monarchy which was difficult to remove; at the same time, the nobility was the nobleman. There is no doubt that the economic privileges need a large amount of money, which undoubtedly worsens the financial predicament of the Ming Dynasty. From the perspective of the broad sense of the national system, the aristocrats of the Ming Dynasty are still a political subject. The above two characteristics of the aristocratic politics of the Ming Dynasty are of great significance to the perspective of the characteristics of the Ming and Qing imperial systems. It is the political system supported by the three systems of the emperor as the top, the system of prefectures and counties, the bureaucracy and the aristocracy. In the Ming Dynasty, this system has taken place both new and unchanging traditions. The so-called "change" refers to the decline of the aristocratic politics in the Ming Dynasty, compared to the strong political strength of the Qin and Tang aristocrats, indicating the original monarchy. Some rigid parts have been loosened; second, the Ming Dynasty scholar bureaucrat politics is relatively active, the scholar officialdom is influenced by the Confucian doctrine. Although the special status of the royal blood relationship is recognized, the Confucian orthodoxy and the "world" care are more emphasized, which makes the Ming Dynasty monarchy system run in the spirit of some rational meaning. These two are the "change" for monarchy. "No change" means: first, as a class aristocrat, including the clans, hereditary officers and relatives still exist, there is no possibility of complete extinction; at the same time, as an important part of the imperial structure, the aristocratic system has an indispensable structural significance; second, the nature of the "rank" and "privileges" contained in the aristocratic politics, It still exerts a profound influence in the legal and economic fields; these two are "invariable" for the monarchy. The "change" and "change" and the tension together constitute the characteristics of the political system of the Ming Dynasty. The political system of the Ming Dynasty, in the absence of more powerful social changes, can not reach the full extension of the political rational spirit. The political and monarchy system of the Ming Dynasty in the Ming Dynasty can be seen from the angle of the king. Although the profound changes have taken place in the economic field, the social field and the ideological and cultural fields of China in the Ming Dynasty, the fundamental changes in the political field are not clear, and the continuation of the monarchy still has a profound political basis.
【學位授予單位】：東北師范大學
【學位級別】：博士
【學位授予年份】：2016
【分類號】：K248
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本文編號：1992760